Aaron Frederick Berger

Merrill Lynch, Pierce, Fenner & Smith Incorporated

31 Years of Experience

1 DisclosureBroker

View SEC Summary

Areas of Practice

Retirement Planning

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Compensation

Commission-BasedFee-Only (AUM)Fixed/Hourly

Firm Size

24630 advisors

Number of Clients

1,738,212 clients

Average Client Portfolio

$869K average

Assets Under Management

$1511.1B

Fee Structure

Financial Planning:Investment management only

Minimum Annual Fee:$1,000

Location

14636 N Scottsdale Rd, Scottsdale, AZ, 85254

Get directions

History

Regulatory History (1)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Customer Dispute

July 2009

Denied

View Full SEC Report How to Read Disclosures

Employment History

Current Registrations

Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker

October 2009 - Present · 16 yrs 4 mos

Merrill Lynch, Pierce, Fenner & Smith Incorporated

October 2009 - Present · 16 yrs 4 mos

Previous Registrations

Banc of America Investment Services, INC.Broker

October 2004 - October 2009 · 5 yrs

Banc of America Investment Services, INC.

October 2004 - October 2009 · 5 yrs

Quick & Reilly, INC.

November 2002 - October 2004 · 1 yr 11 mos

Quick & Reilly, INC.Broker

August 1996 - October 2004 · 8 yrs 2 mos

National Discount BrokersBroker

September 1994 - August 1996 · 1 yr 11 mos

Olde Discount CorporationBroker

March 1994 - June 1994 · 3 mos

State Registrations26 states

AZCACODCFLGAHIILINKSMAMEMIMNMTNCNDNJNMNVOHOKTXUTWAWI

AdvisorBrokerBoth

Exams

No exam information available for this advisor.